• Negotiable
  • Hong Kong
  • Permanent, Full time
  • Standard Chartered Bank Hong Kong
  • 15 Jan 18

Director, Compliance, Corporate Finance, Captial Markets

  • Location: Hong Kong
  • Salary: Negotiable
  • Job Type: Full time

* To provide primary Product Compliance support to Capital Markets (consisting of Debt Capital Markets, Capital Markets Solutions, Rating Advisory, MTN, Bond Syndication, etc), Capital Structuring, Distribution Group and Research businesses globally

Leading the way in International Banking. We support the people and companies driving investment, trade and wealth creation across Asia, Africa and the Middle East. And our heritage and values are expressed in our brand promise - here for good. See our Brand and Values

We are currently looking for Director, Compliance, Corporate Finance, Principal Finance, Capital Markets, Capital Structuring & Distribution Group and Research

Job objectives:
  • To provide primary Product Compliance support to Capital Markets (consisting of Debt Capital Markets, Capital Markets Solutions, Rating Advisory, MTN, Bond Syndication, etc), Capital Structuring, Distribution Group and Research businesses globally
  • Incumbent may rotate to provide Product Compliance support to Corporate Finance and Principal Finance businesses
  • To work on a global basis with the various regional and country compliance teams to ensure coordination and strategic implementation of compliance best practices for the respective businesses


Job description:

The incumbent will be responsible for the following:
  • Provide regulatory advice, analysis (and challenge when appropriate) in relation to the full product life cycle including product design through to post sales reviews/assessments, new business initiatives, bespoke projects, remedial activities, etc
  • Provide product specialist support and advice to the Regional / Country L&C teams
  • Develop, update and maintain compliance policies and procedures and manuals to ensure the continuing compliance with applicable rules and regulations.
  • Stay apprised of regulatory reforms and developments, including conducting impact analyses on Capital Markets, Capital Structuring, Distribution Group and research businesses and implementation, thereof
  • Implement appropriate compliance infrastructure and controls and execute relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the Group's business.
  • Take appropriate action and reporting to accordance with internal procedures on the occurrence of a breach of laws or regulations.
  • Supervision of training requirements, monitoring, marketing activities, licensing and desk reviews, etc.
  • Develop and present training programmes on regulatory and compliance matters to business
  • Interface with global and regional product heads for standardization, reporting and efficiency


Qualifications & Skills:
  • Either a compliance officer or qualified lawyer with a background in corporate finance, capital markets, and / or research experience with major investment banks preferred
  • 5 - 8 years of banking industry experience
  • Experience in regional regulatory issues in particular, in Asia, Middle East, Europe and/or US
  • Excellent regulatory management and relationship skills
  • Good knowledge of rules and regulations regarding securities, corporate finance, capital markets, structuring/securitisation and / or research
  • Strong communication skills
  • Fluent English ability
  • Strong Chinese written and oral language skills
  • Strong analytical and organizational skills
  • Leadership skills and management ability
  • Commitment to excellence


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We are committed to building a culture that fosters a diverse and inclusive environment that's free from bias, where everyone can realise their full potential and make a positive contribution. This is just one of our values that is expressed in our brand promise - here for good. Apply Now...